Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
Who's Investing Where?
By Kara P. Stapleton"Nearly half of U.S. households own equities or bonds, a significant increase during the last two decades, however, ownership of these investment assets has declined...
February 01, 2009
Moving and ShakingWhen Bob Dineen joined Lincoln Financial Network six years ago, the organization was losing huge money -- up to $70 million a year. Not only...
February 01, 2009
Morgan Stanley, Smith Barney to CombineMorgan Stanley, Smith Barney to Combine, Joint Venture Should Have 20,000-Plus FAs The former Morgan Stanley Dean Witter is set to become Morgan Stanley Smith Barney,...
February 01, 2009
David Macchia Interview: Tom JamesDavid Macchia: The events that have played out in the economy in recent months have been remarkable. I know you've witnessed a great deal in...
February 01, 2009
Edward Jones Now Close to 11,200 FAs; Will 'Take Boring Any Day,' Says WeddleWhat's your latest advisor headcount? We had a good year in 2008 in terms of how we grow, which is through organic growth. We refuse...
February 01, 2009
Industry Hit by Class ActionsIt is no surprise that federal securities class action filings increased in 2008 over the previous year's levels given the upheaval in the financial markets...
February 01, 2009
The Skinny on the ProtocolIn this column I will address a specific issue that has increasingly become the subject of much discussion in the investment advisory industry: the "Protocol."...
January 30, 2009
SEC, FINRA aim to increase oversight amid criticismFacing criticism over the Madoff scandal, officials are looking for ways to increase broker/dealer and investment advisor oversight. At a Senate Banking Committee hearing this week,...